Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, YIN LOK
Chinese Name of Relevant Individual
岑彥樂
HKMA Registration Number
AG9956
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 May 2022 - 13 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 May 2022 - 13 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jun 2018 - 24 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jun 2018 - 24 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jul 2017 - 15 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Jul 2017 - 15 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Dec 2016 - 02 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Dec 2016 - 02 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Dec 2015 - 31 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Dec 2015 - 31 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
03 Dec 2015 - 31 Oct 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
SHUM, YIN LOK
:
Chinese Name of Relevant Individual
岑彥樂
:
HKMA Registration Number
AG9956
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9956
CHONG HING BANK LIMITED
Type 1: dealing in securities
07 May 2022 - 13 Nov 2022
No
AG9956
CHONG HING BANK LIMITED
Type 4: advising on securities
07 May 2022 - 13 Nov 2022
No
AG9956
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
09 Jun 2018 - 24 Sep 2021
No
AG9956
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
09 Jun 2018 - 24 Sep 2021
No
AG9956
DAH SING BANK, LIMITED
Type 1: dealing in securities
28 Jul 2017 - 15 May 2018
No
AG9956
DAH SING BANK, LIMITED
Type 4: advising on securities
28 Jul 2017 - 15 May 2018
No
AG9956
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
15 Dec 2016 - 02 Apr 2017
No
AG9956
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
15 Dec 2016 - 02 Apr 2017
No
AG9956
HANG SENG BANK, LIMITED
Type 1: dealing in securities
03 Dec 2015 - 31 Oct 2016
No
AG9956
HANG SENG BANK, LIMITED
Type 4: advising on securities
03 Dec 2015 - 31 Oct 2016
No
AG9956
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
03 Dec 2015 - 31 Oct 2016
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.